Compliance Manager

Compliance Manager

Ref: 1383Tuesday 12 October 2021

£dependent on experience

We are delighted to offer a unique and exciting opportunity to join a dynamic, innovative and fast-growing company within Financial Services. If you enjoy working in a vibrant organisation which embraces data science and are truly customer-focussed but want something different than the usual Banking environment, then this is an opportunity for you.  Our client is a fintech consumer lender who are well established (over 6 years old and already lent £200m+) and heading for huge growth over the coming years following significant investment.  They have big plans to disrupt and become the dominant force in UK consumer credit using a data-led approach to everything they do.  


This new Compliance Manager role will be responsible for ensuring that all business areas are compliant with FCA expectations and Financial crime regulations.  Working closely with the Head of Compliance you will develop, implement and improve processes and policies to ensure that there is effective oversight.  Other key responsibilities of the Compliance Manager include:

  • Maintain a strong compliance culture, focussed on good customer outcomes and treating customers fairly, including creating and managing appropriate policies and staff training
  • Undertake monitoring and testing to determine compliance.
  • Provide the Head of Compliance/ MLRO with reporting (which will form part of reporting to the Board and Senior Management)
  • Manage ad hoc compliance projects, such as launching new product types, onboarding new partners etc
  • Scope the necessary controls to mitigate compliance risk, detailing the requirements and managing implementation
  • Ensure appropriate reporting of internal management information and assist with the submission of the regular reports required by the FCA reporting regime.
  • Deputise for the MLRO where required


While you will be a key member of the Compliance team, you will work closely with the founders, the senior leadership team members and many other members of the team.  


Required skills and experience:

  • At least 3 years of experience in Compliance Monitoring incl. undertaking thematic reviews, within an FCA regulated firm.
  • Working knowledge of consumer credit regulation and consumer credit related sourcebooks (e.g. CONC, DISP etc) and wider regulatory requirements (e.g. SMCR)
  • Experience of AML, KYC and CDD
  • Outstanding interpersonal communication skills (written and verbal) and comfortable providing effective challenge whilst building strong, collaborative relationship
  • Ability to recognise regulatory risks related to business decisions
  • High proficiency in Word, PowerPoint Presentations (for senior management reports) and Excel (for monitoring and testing plans)
  • Experience of managing or supporting due diligence (preferable)


This is a great opportunity to join a customer focussed lender who are about to embark on an ambitious growth strategy and who put people at the heart of their business.